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Showing 31 to 40 of 131 search results for Firms subject to the MiFID II transaction reporting.
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2015 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2015. -
Investor engagement in a changing regulatory landscape
at this issue in detail, we had concerns that using this transaction cost mechanism to pay for access favoured firms generating the highest execution commissions with a broker, so potentially those ... II. ESMA provided its final advice to the European -
Evolving the FCA's approach to markets regulation
Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version. -
2017 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. -
Preparing for Brexit in financial services: the state of play
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
Market abuse requires a dynamic response to a changing risk profile
MAR and MiFID II define what constitutes unacceptable conduct and practice, including behaviour that amounts to giving false or misleading impressions to the market. ... MiFID II has been, amongst many things, an exercise in bringing together a common -
UK MiFID transparency calculations
This page contains updates on the UK MiFID transparency calculations and the latest published data. -
Information on MiFID 2 transaction reporting - February 2020
FCA provides information on Mifid 2 transaction reporting. -
MiFID II: retail investment advice firms
A summary of some of the key changes that impact retail investment advice firms, effective from 3 January 2018.